Types of Transfers

Electronic Transfer

The University's broker is Charles Schwab & Co., Inc. The transfer of securities from a donor's brokerage account to the University's Schwab account is accomplished via the Depository Trust Company (DTC). To perform such a transfer, simply notify your broker of the securities to be gifted and provide the following transfer instructions or see the attached DTC Form (pdf).

DTC No. 0164, Code 40
University of Notre Dame
Charles Schwab Account No. 8992-3609
Donor Name and Address:

In the event your broker requires further information, our Schwab representative may be contacted at:

Charles Schwab & Co., Inc.
137 North Meridian Street, Indianapolis, Indiana 46204
(800) 217-2421 or (317) 634-2484 Fax: (317) 634-2480

Mutual Fund Transfer

Mutual fund shares cannot be electronically transferred via DTC.

The method of transferring mutual fund shares to the University varies depending on how the fund shares are held. If they are held in a Charles Schwab account, your broker can transfer them to the University's Charles Schwab account by journal entry. If they are held in an account with a different brokerage firm, your broker should contact the University's Schwab representative to arrange for the transfer. If, however, they are held in an account with the fund company, it may be possible to transfer them into an account in the University's name with the fund company. Please contact the Office of the Controller (Lisa Kresnak) to determine if a University account exists. If the University does not have an account with a particular fund company, we will not be able to open one; but it may be possible for our Schwab representative to work directly with the fund company to transfer the shares to Notre Dame using special paperwork and requiring up to several weeks to complete. Contact Lisa Kresnak with any questions.

Book-Entry Transfer

If you hold shares of stock in a Direct Registration account (DRS) or through a Dividend Reinvestment Program (DRIP), you hold those shares directly with the transfer agent and receive regular statements showing the number of shares held. This is referred to as book-entry.

It is possible to transfer book-entry shares to Notre Dame, however, these shares do not go through the University's Charles Schwab account via DTC. Instead, shares go directly from a donor’s account to a book-entry account in Notre Dame’s name. To initiate such a transfer, you need to obtain a transfer form from the transfer agent’s web site or by calling the transfer agent. After completing your portion of the form, you should send it to the Office of the Controller for prompt completion of our portion. We will then forward the entire form to the transfer agent and the number of shares you designate on the form will be transferred from your account to the University's new account.

Computershare and BNY Mellon Investor Services are two of the larger transfer agents handling DRS and DRIP accounts, although, you may have a book-entry account with a different company. If you have any questions concerning your transfer agent or how to obtain a form, contact Lisa Kresnak.

Physical Delivery of Stock Certificate

We advise that delivery of physical stocks and bonds be made to:

                University of Notre Dame

                Controller’s Office

                Attn:  Lisa Kresnak

                808 Grace Hall

                Notre Dame, IN  46556               

We recommend the registered owner(s) of the certificate not sign on the back of the certificate, but instead complete the following Charles Schwab forms:

                Irrevocable Stock or Bond Power (pdf)

                Third-Party Release (pdf)

As a precautionary measure, the certificate and signed Charles Schwab forms should be mailed separately.  Transfer agents also request proof that a stock transfer is a gift rather than a sale, so, a donor gift letter is recommended.

In instances where a stock or bond is to be registered to the University before it is sent to us, you will be required to supply the transfer agent with the University’s mailing address and taxpayer identification number.  They are:

                University of Notre Dame

                Controller’s Office

                808 Grace Hall

                Notre Dame, IN  46556

                Tax ID:  35-0868188

If the stock or bond is registered to the University, no forms are necessary, however a letter or email identifying the donor(s) is essential for us to properly credit the gift.  Lisa’s email address is: ekresnak@nd.edu.